Series63 Exam Dumps | on No: 239 A tombstone advertisement is

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Uniform Securities Agent State Law Examination
FINRA.Series63.v2023-12-18.q101
Question 83

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Question 83/101

on No: 239
A tombstone advertisement is

A. an offer to sell a new security.

B. the announcement of a new security that may become available for purchase.

C. the only type of advertisement that an investment advisory firm is allowed to use.

D. an offer to sell a new security that is being issued by an Arizona firm.

Correct Answer: B

Explanation
A tombstone advertisement is an announcement of a new security that may become available for purchase. It is the only type of advertisement that is allowed during the "cooling off period" once a firm has filed a registration statement for a new security. It is not an offer to sell the security, an act that is strictly prohibited during this period.

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